Mao, Shuguang 毛曙光

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SFC licenses

Rep=Representative, RO=Responsible Officer. A person without a starting date was in that role since at least 1-Apr-2003 when the current register began.

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Organisation Role Activity From Until
1 BARCLAYS CAPITAL ASIA LIMITED Rep Advising on corporate finance 2008-07-16 2008-12-16
Rep Dealing in securities 2008-07-16 2008-12-16
Rep Advising on corporate finance 2013-05-29 2015-09-21
Rep Dealing in securities 2013-05-29 2015-09-21
2 CITIC Securities Asset Management (HK) Limited Rep Advising on securities 2011-06-10 2012-02-11
Rep Asset management 2011-06-10 2012-02-11
3 Citigroup Global Markets Asia Limited Rep Advising on securities 2006-01-24 2007-07-10
4 Eastern Marathon Investment Management (Hong Kong) Company Limited Rep Asset management 2012-06-14 2013-04-30
5 HARVEST GLOBAL INVESTMENTS LIMITED Rep Advising on securities 2009-06-04 2011-05-16
Rep Asset management 2009-06-04 2011-05-16
6 Wells Fargo Securities Asia Limited Rep Advising on corporate finance 2008-05-05 2008-05-30
Rep Advising on securities 2008-05-05 2008-05-30
Rep Dealing in securities 2008-05-05 2008-05-30

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